Adviser Settles Solicitor Rule Charges with SEC Following Two Examinations

Advisory firms that rely on a no-action letter to support their business practices should make sure that their interpretation of that letter is correct – especially when those business practices are ones the SEC pays particular attention to, like compliance with Rule 206(4)-3, the Solicitor Rule. An advisory firm that relied on such a letter […]
Full contents of this article are only available to paid subscribers.

Please note: we are on a new platform and you may need to reset your password to recover your account. Click here for more details.

New to ACA Insight?

Subscribe today and receive a time-limited $200 discount!

Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.